Disciplined List
Monterossa, Jose Alberto
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Date of Order or Settlement:
2002-06-20
Sanction:
- 10-year trading ban with conditions
- 10-year director/officer ban with conditions
- 10-year investor relations ban with conditions
- An undertaking not to apply for registration until 10 years after restitution has been made\
- An undertaking to repay back all outstanding monies borrowed from all his former clients
- An undertaking to comply with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Failure to deal with clients fairly, honestly and in good faith
Ruling Body:
BCSCPayment Agreed/Ordered:
An undertaking to make restitution